The Global Financial Markets Association (GFMA) represents the common interests of the world’s leading financial and capital market participants, and speaks for the industry on the most important global market issues.

The Institute of Internal Auditors (IIA) is an international professional association with global headquarters in Altamonte Springs, Florida, USA. The IIA is the internal audit profession’s global voice, recognized authority, acknowledged leader, chief advocate, and principal educator.

Europe

Central Bank

The ECB is the central bank for Europe’s single currency, the euro. The ECB’s main task is to maintain the euro’s purchasing power and thus price stability in the euro area. The euro area comprises the 18 European Union countries that have introduced the euro since 1999. The European Central Bank and the national central banks together constitute the Eurosystem, the central banking system of the euro area. The main objective of the Eurosystem is to maintain price stability: safeguarding the value of the euro.

Regulators

ESMA’s mission is to enhance the protection of investors and reinforce stable and well functioning financial markets in the European Union. As an independent institution ESMA achieves this mission by building a single rule book for EU financial markets and ensuring its consistent application and supervision across the EU.

Central Bank

The Federal Reserve System is the central bank of the United States. It was founded by Congress in 1913 to provide the nation with a safer, more flexible, and more stable monetary and financial system. Over the years, its role in banking and the economy has expanded.

The mission of the Commodity Futures Trading Commission (CFTC) is to protect market participants and the public from fraud, manipulation, abusive practices and systemic risk related to derivatives – both futures and swaps – and to foster transparent, open, competitive and financially sound markets.

Securities and Exchange Commission established in 1934 to promote stability in the markets and most importantly to protect investors. SEC oversees the key participants in the securities world, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds.

Argentina

Regulators

The National Securities Commission (NSC) is an autarkic entity with jurisdiction covering the territory of the Argentine Republic. The NSC Supervises corporations authorized to issue securities to the public, the secondary markets where these securities are traded, and all persons and corporations involved in any capacity in the public offering and trading of these securities.

Australia

Central Bank

Its duty is to contribute to the stability of the currency, full employment, and the economic prosperity and welfare of the Australian people. It does this by setting the cash rate to meet an agreed medium-term inflation target, working to maintain a strong financial system and efficient payments system, and issuing the nation’s banknotes. The RBA provides certain banking services as required to the Australian Government and its agencies, and to a number of overseas central banks and official institutions. Additionally, it manages Australia’s gold and foreign exchange reserves.

Central Bank

The Oesterreichische Nationalbank (OeNB) is the central bank of the Republic of Austria and as such an integral part of the European System of Central Banks (ESCB). The OeNB contributes, in the public interest, to monetary and economic policy decision-making in Austria and the euro area. In fulfilling this role, the OeNB is independent and not bound by any instructions.

Regulators

Supervising all significant providers and functions under one roof. The authority supervises banks, insurance undertakings, Pensionskassen (pension companies), corporate provision funds, investment firms and investment service providers, investment funds, financial conglomerates and exchange operating companies. It also monitors activities to ensure that trading in listed securities complies with legal requirements and the principles of fairness and transparency (supervision of the market and stock exchange).

Regulators

The FSMA is responsible for supervising the financial markets and listed companies, authorizing and supervising certain categories of financial institutions, overseeing compliance by financial intermediaries with codes of conduct and supervising the marketing of investment products to the general public, as well as for the ‘social supervision’ of supplementary pensions. The Belgian government has also tasked the FSMA with contributing to the financial education of savers and investors.

Regulators

Autonomous regulatory authority responsible for the regulation, supervision and inspection of all financial services in and from within the BVI. Such services include insurance, banking, trustee business, company management, mutual funds business as well as the registration of companies, limited partnerships, intellectual property and ships.

Bulgaria

Central Bank

The BNB’s major objective is to maintain price stability by ensuring the stability of the national currency. The Bank supports the creation and functioning of efficient payment systems and exerts oversight over these. It is the only issuing institution in Bulgaria and maintains the cash cycle. The BNB shall regulate and supervise other banks’ activities in this country for the purpose of ensuring the stability of the banking system and protecting depositors’ interests. The Bank carries out research work, compiles, aggregates and analyses statistical data.

Regulators

The BNB’s major objective is to maintain price stability by ensuring the stability of the national currency. The Bank supports the creation and functioning of efficient payment systems and exerts oversight over these. It is the only issuing institution in Bulgaria and maintains the cash cycle. The BNB shall regulate and supervise other banks’ activities in this country for the purpose of ensuring the stability of the banking system and protecting depositors’ interests. The Bank carries out research work, compiles, aggregates and analyses statistical data.

Canada

Central Bank

Bank Of Canada is Canada’s Central Bank. The responsibilities for the Bank of Canada is the country monetary policy, bank notes, financial system and funds management. Its principal role as defined in the Bank of Canada Act is to promote the economic and financial welfare of Canada.

Regulators

The Investment Industry Regulatory Organization of Canada is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada.

Cayman Islands

Regulators

As the primary financial services regulator, the mission of the Cayman Islands Monetary Authority is to enhance the economic wealth and reputation of the Cayman Islands by fostering a thriving and growing, competitive, and internationally recognised financial services industry, through appropriate, responsive, cost-effective and efficient supervision and a stable currency.

China

Central Bank

Monetary Policy, Survey&Statistics, Rules&Regulations, Financial Stability.
The People’s Bank of China is the central bank of the People’s Republic of China and it was established on December 1, 1948. Objectives of the central bank are to control monetary policy and regulate financial institutions in China.

Regulators

Authorized by the State Council, in accordance with relevant laws and regulations, the China Securities Regulatory Commission, a ministry-level unit directly under the State Council, regulates China’s securities and futures markets with an aim to ensure their orderly and legitimate operation.

Croatia

Central Bank

The Croatian National Bank, as stipulated by the Constitution of the Republic of Croatia, is the central bank of the Republic of Croatia. The status, tasks, objectives and capital ownership of the central bank, its powers, organization and relations with the bodies of the Republic of Croatia, banks and international institutions and organizations.

Central Bank

The Central Bank of Cyprus was established in 1963, shortly after Cyprus gained its independence, as an autonomous institution in accordance with the Central Bank of Cyprus Law 1963 and the relevant articles of the Constitution. Today the Bank is governed by the Central Bank of Cyprus Laws 2002-2007, which ensure the Bank’s independence as well as compatibility with the relevant provisions of the Treaty establishing the European Community and the Statute of the European System of Central Banks and of the European Central Bank.

Associations

Development and coordination of the common interests of its members in relation to all competent regulatory institutions and creating a significant representation before the competent regulatory authorities and advisory committees of any suitable regulatory body.

It is the official representative body of all Cyprus Investment Firms (CIFs) which are Members of the Cyprus Stock Exchange, a number of Investment Firms (IFs) which are members of the Athens Stock Exchange and remote Members of the Cyprus Stock Exchange, as well as a number of CIFs whose main activities relate to the provision of services for investments abroad. All members of the Association are licensed and regulated by the Cyprus Securities and Exchange Commission.

Central Bank

The CNB is the central bank of the Czech Republic and the supervisor of the Czech financial market. As an independent institution, the Czech National Bank maintains price stability, supervises the financial system and supports its balanced development, and ensures smooth circulation of money and smooth payments.

Regulators

The CNB is the central bank of the Czech Republic and the supervisor of the Czech financial market. As an independent institution, the Czech National Bank maintains price stability, supervises the financial system and supports its balanced development, and ensures smooth circulation of money and smooth payments.

Denmark

Central Bank

The Nationalbank established in 1818 to issue the Danish currency and ensure its stability.
The main objectives of Danmarks Nationalbank are to maintain stable prices, to promote safe settlement of cash and electronic payments and to maintain the stability of the financial system.

Central Bank

Eesti Pank is the central bank of the Republic of Estonia and a member of the European System of Central Banks. Estonia adopted the euro on 1 January 2011, becoming the seventeenth euro area Member State. This also meant that Eesti Pank joined the Eurosystem. The primary objective of Eesti Pank is to contribute to price stability within the euro area.Besides the price stability objective, Eesti Pank also contributes to achieving other economic policy goals in Estonia and in the euro area in line with the Treaty on the Functioning of the European Union.In addition, Eesti Pank fulfils the traditional functions of a central bank: manages currency circulation, supports and organises transfers between commercial banks, participates in safeguarding financial stability, manages the foreign reserves of Estonia, prepares financial sector statistics and balance of payments statistics, and advises the government in economic policy issues of Estonia and of the euro area.

Regulators

The Financial Supervision Authority conducts state supervision over the banks, insurance companies, insurance intermediaries, investment firms, management companies, investment and pension funds as well as the payment service providers, e-money institutions and securities market that have been authorized by the Financial Supervision Authority.

Regulators

Is the authority for supervision of Finland’s financial and insurance sectors. The entities supervised by the authority include banks, insurance and pension companies as well as other companies operating in the insurance sector, investment firms, fund management companies and the Helsinki Stock Exchange.

Regulators

The Autorité des Marchés Financiers (AMF) regulates participants and products in France’s financial markets. It regulates, authorises, monitors, and, where necessary conducts investigations and issues sanctions. In addition, it ensures that investors receive material information, and provides a mediation service to assist them in disputes.

The Autorité des Marchés Financiers (AMF) regulates participants and products in France’s financial markets. It regulates, authorises, monitors, and, where necessary conducts investigations and issues sanctions. In addition, it ensures that investors receive material information, and provides a mediation service to assist them in disputes.

Germany

Central Bank

The Deutsche Bundesbank is the central bank of the Federal Republic of Germany and, thus, the “banker’s bank”. Since 1999, it has been part of the Eurosystem, sharing responsibility with the other national central banks and the European Central Bank for the single currency, the euro. The overriding aim behind all of the Bundesbank’s activities is to safeguard the stability of the general price level and the financial system.

Regulators

BaFin operates in the public interest. Its primary objective is to ensure the proper functioning, stability and integrity of the German financial system. Bank customers, insurance policyholders and investors ought to be able to trust the financial system. Under its solvency supervision, BaFin helps ensure the ability of banks, financial services institutions and insurance undertakings to meet their payment obligations. Through its market supervision, BaFin also enforces standards of professional conduct which preserve investors’ trust in the financial markets. As part of its investor protection, BaFin also seeks to prevent unauthorised financial business.

Greece

Central Bank

The Bank of Greece is responsible for implementing the Eurosystem’s monetary policy in Greece and safeguarding the stability of the Greek financial system. According to its Statute, its primary objective is to ensure the stability of the general price level. Without prejudice to its primary objective, the Bank supports the general economic policy of the government. In the performance of its tasks, the Bank enjoys institutional, personal and operational independence, and is accountable to the Greek Parliament.

Central Bank

The MNB and the members of its decision-making bodies shall be independent in carrying out the tasks and meeting their obligations conferred upon them by the MNB Act, and shall neither seek nor take instructions from the Government, the institutions and bodies of the European Union, the governments of its Member States and any other bodies, except from the European Central Bank. The primary objective of Magyar Nemzeti Bank (the central bank of Hungary) is to achieve and maintain price stability.

Regulators

The Market Intermediaries Regulation and Supervision Department is responsible for the registration, supervision, compliance monitoring and inspections of all market intermediaries in respect of all segments of the markets viz. equity, equity derivatives, debt and debt related derivatives. The Department also handles the work related to action against the intermediaries for regulatory violations.

Indonesia

Central Bank

Bank Indonesia (BI) is the central bank of the Republic of Indonesia and it was founded on 1 July 1953 from the nationalization of De Javasche Bank (Bank of Java), a Dutch bank dating from colonial times. Strategic objectives of Bank of Indonesia are, maintian the monetary stability, create a stable and effective banking and financialsystem and maintain the security of payment system.

Regulators

The Financial Supervision Commission is the regulator of Banks, Investment Businesses, Corporate Service Providers,Trust Service Providers, Professional Officers, Collective Investment Schemes and Service Providers, and Money Transmission Services.

Israel

Central Bank

The Bank of Israel is the central bank of the State of Israel. The Bank was established in 1954. The Bank is independent, and its objectives and operating methods are specified in the Bank of Israel Law, 5770-2010. Its objectives are to maintain price stability, to support the Government’s objectives especially growth and employment, and to support the stability of the financial system.

Regulators

The Israel Securities Authority (ISA) is the national securities regulator of Israel and was established by law in 1968. Objectives of ISA are to supervise public securities offering, to grant permits to publish prospectuses, to regulate and supervise the mutual fund industry, to oversee the operations of the Tel Aviv Stock Exchange, to supervise, licensing, and disciplining portfolio managers and investment advisors and to conduct investigations for possible violations of securities law.

Italy

Central Bank

The Bank of Italy is the central bank of the Republic of Italy and part of the European System of Central Banks (ESCB) and the Eurosystem. It is a public-law institution and pursues aims of general interest in monetary and financial matters: price stability, the primary objective of the Eurosystem under the Treaty establishing the European Community (the EC Treaty); the stability and efficiency of the financial system, thus implementing the principle of the protection of savings embodied in the Constitution (Article 47(1) “The Republic encourages and protects saving in all its forms, it regulates, coordinates and controls the provision of credit”); and the other duties entrusted to it by Italian law. In performing its tasks the Bank operates autonomously and independently.

Regulators

Is the public authority responsible for regulating the Italian securities market and its main aim is the protection of the investing public. CONSOB ensures for transparency and correct behaviour by securities market participants, disclosure of complete and accurate information to the investing public by listed companies, accuracy of the facts represented in the prospectuses related to offerings of transferable securities to the investing public and ensures compliance with regulations by auditors entered in the Special Register.

Japan

Central Bank

The Bank of Japan is the central bank of Japan. It is a juridical person established based on the Bank of Japan Act (hereafter the Act), and is not a government agency or a private corporation. The Act sets the Bank’s objectives, to issue banknotes and to carry out currency and monetary control and to ensure smooth settlement of funds among banks and other financial institutions, thereby contributing to the maintenance of stability of the financial system.

The Financial Services Agency is a Japanese government organization responsible for overseeing banking, securities and exchange, and insurance in order to ensure the stability of the financial system of Japan. Under the authority of the Financial Services Agency comes the Securities and Exchange Surveillance Commission which is responsible for ensuring fair transactions in both securities and financial futures markets.

Latvia

Central Bank

The objective of the operation of the Bank of Latvia as the central bank is price stability promoting Latvia’s long-term economic growth. The BoL ensures the circulation of cash currency and provides the environment for the functioning of safe interbank payment systems; it manages the foreign currency and gold reserves that cover the relevant liabilities, including currency in circulation, the deposits by the government and commercial banks with the central bank. The BoL also compiles the balance of payments and financial statistics.

Regulators

The Financial and Capital Market Commission is an autonomous public institution, which carries out the supervision of Latvian banks, insurance companies and insurance brokerage companies, participants of financial instruments market, as well as private pension funds, payment institutions and electronic money institutions.

Liechtenstein

Regulators

The FMA is the independent financial market supervisory authority of Liechtenstein, ensuring the stability and credibility of the financial market, the protection of clients, and the prevention and prosecution of abuse.

Lithuania

Central Bank

The Bank of Lithuania is the central bank of the Republic of Lithuania. Its principal objective is to maintain price stability. In seeking its principal objective, the Bank of Lithuania is independent from the Government of the Republic of Lithuania or other institutions of the state.

Regulators

The Bank of Lithuania is the central bank of the Republic of Lithuania. The Bank of Lithuania issues licences to financial market participants for the provision of financial services and supervises their activities. As a supervisory authority, the Bank of Lithuania monitors the compliance of financial market participants with laws and requirements set by legal acts of the Bank of Lithuania, International Financial Reporting Standards, requirements recommended by international organisations for safe and sound activities.

Luxembourg

Central Bank

The BCL’s contribution is important for the euro area and for the country. The Maastricht Treaty and the advent of the euro made the creation of a central bank necessary. The BCL is in charge of essential missions regarding monetary policy, the issuing of banknotes, financial stability, payment systems and even economic analysis.

Regulators

The Commission de Surveillance du Secteur Financier is responsible for the prudential supervision of credit institutions, professionals of the financial sector (investment firms, specialised PFS, support PFS), undertakings for collective investment, pension funds, SICARs, securitisation undertakings issuing securities to the public on a continuous basis, regulated markets and their operators, multilateral trading facilities, payment institutions and electronic money institutions. It also supervises the securities markets, including their operators.

Malta

Central Bank

The Central Bank of Malta is an independent institution which forms an integral part of the Eurosystem and, as a member of the European System of Central Banks (ESCB), it has the primary objective of maintaining price stability. The Bank is entrusted with all major central banking tasks, particularly that of ensuring the stability of the financial system.

Regulators

The Malta Financial Services Authority (MFSA) is the single regulator for financial services in Malta. The financial services sector incorporates all financial activity including that of credit institutions, financial and electronic money institutions, securities and investment services companies, regulated markets, insurance companies, pension schemes and trustees. The MFSA also manages the Registry of Companies and has also been appointed as the Listing Authority.

Central Bank

Responsible for safeguarding financial stability. More particularly, DNB contributes to defining and implementing the single monetary policy of the countries which have introduced the euro promotes the smooth operation of the payment system, and supervises financial institutions and the financial sector.

Regulators

The Netherlands Authority for the Financial Markets was set up on 1 March 2002.
Its responsibilities greatly expand to cover all financial products, including savings, investments, loans, insurance and accounting. The AFM aims to make the financial markets more accessible, promote the smooth operation of the financial markets, and promote confidence in the fianancial markets.

New Zealand

Central Bank

The Reserve Bank of New Zealand is New Zealand’s central bank. The Reserve Bank manages monetary policy to maintain price stability, promotes the maintenance of a sound and efficient financial system, and supplies New Zealand banknotes and coins

Central Bank

Norges Bank is Norway’s central bank. The Bank shall promote economic stability in Norway. Norges Bank has executive and advisory responsibilities in the area of monetary policy and is responsible for promoting robust and efficient payment systems and financial markets. Norges Bank manages Norway’s foreign exchange reserves and the Government Pension Fund Global.

Central Bank

BSP is committed to promote and maintain price stability and provide proactive leadership in bringing about a strong financial system conducive to a balanced and sustainable growth of the economy. Towards this end, it shall conduct sound monetary policy and effective supervision over financial institutions under its jurisdiction.

Poland

Central Bank

The fundamental objective of the NBP’s activity is to maintain price stability. The National Bank of Poland is responsible for the stability of the national currency. Fulfilling this constitutional obligation, the NBP develops and implements the monetary policy strategy and the annual monetary policy guidelines.

Regulators

The KNF supervises the financial services industry in Poland. This includes credit institutions, insurance firms, investment companies, exchanges, pension scheme as well as payment institutions and credit unions.

Portugal

Central Bank

The primary objective of the Eurosystem, of which Banco de Portugal is an integral part, is to maintain price stability, i.e. to maintain the purchasing power of money. This objective is laid down in the Treaty establishing the European Community. The governor of Banco de Portugal performs the tasks of member of the Governing Council and of the General Council of the European Central Bank (ECB).

Central Bank

Regulators

QFMA is an independent regulatory authority to supervise the financial markets and firms that are authorized to conduct activities related to securities in or from the State of Qatar and empowered to exercise regulatory oversight and enforcement over the capital markets.

Romania

Central Bank

Its primary objective is to ensure and maintain price stability. The National Bank of Romania is the sole institution authorised to issue currency, in the form of banknotes and coins to be used as legal tender in Romania, based on a currency issue programme drafted in terms of the real needs of money circulation. The central bank is the sole institution vested with licensing and regulatory powers in the banking field, being responsible for prudential supervision of credit institutions in order to ensure the smooth functioning and viability of the banking system.

Central Bank

The Bank of Russia performs its functions in compliance with the Constitution of the Russian Federation, Federal Law ‘On the Central Bank of the Russian Federation (Bank of Russia) (hereinafter referred to as the Bank of Russia Law) and other federal laws.

Regulators

Service of the Bank of Russia on the financial markets – a division of the Bank of Russia. Service of the Bank of Russia, carrying out the adoption regulations, control and supervision in the financial markets.

Regulators

MAS is the central bank of Singapore and its mission is to promote sustained non-inflationary economic growth, and a sound and progressive financial centre. Further, MAS conducts integrated supervision of financial services and financial stability surveillance.

Slovakia

Central Bank

Since 1 January 2009, National Bank of Slovakia has been part of the Eurosystem. In cooperation with the European Central Bank and central banks of the euro area countries, it maintains the price stability.

Regulators

The National Bank of Slovakia as part of its supervision of the financial market, performs supervision of stock exchange, central depository of securities, issuers of securities, Investment Guarantee Fund, collective investment, investment firms, takeover bids and squeeze-out and public offer.

Slovenia

Central Bank

The Bank of Slovenia carries out the following tasks:implements the common monetary policy, co-manages the official foreign reserves of the Member States in accordance with the Treaty on establishing the European Community, and promotes the smooth operation of payment systems. The Bank of Slovenia also carries out all other tasks pursuant to the BoSA.

Central Bank

Ensuring that the South African money, banking and financial system as a whole is sound, meets the requirements of the community and keeps abreast of international developments, Assisting the South African government, as well as other members of the economic community of southern Africa, with data relevant to the formulation and implementation of macroeconomic policy, and Informing the South African community and all stakeholders abroad about monetary policy and the South African economic situation.

Central Bank

The Riksbank is Sweden’s central bank and an authority under the Riksdag, the Swedish parliament. The Riksbank is responsible for monetary policy with the objective to maintain price stability. The bank has also been given the task to promote a safe and efficient payment system.

Regulators

Finansinspektionen monitors and analyses trends in the financial market. We assess the financial health of individual companies, the various sectors and the financial market as a whole. We examine the risks and control systems in financial companies and supervise compliance with statutes, ordinances and other regulations. We also supervise compliance with the Swedish Insider Act, investigate cases of suspected offences and share price manipulations.

Regulators

The Swiss Financial Market Supervisory Authority FINMA is an institution under public law with its own legal personality. It is responsible for implementing the Financial Market Supervision Act and financial market legislation. As an independent supervisory authority, FINMA acts to protect the interests of creditors, investors and insured persons and to ensure the proper functioning of the financial markets.

Turkey

Central Bank

The primary objective of the Bank shall be to achieve and maintain price stability. The Bank shall determine on its own discretion the monetary policy that it shall implement and the monetary policy instruments that it is going to use in order to achieve and maintain price stability. The Bank shall, provided that it shall not be in confliction with the objective of achieving and maintaining price stability, support the growth and employment policies of the Government.

Regulators

Capital Markets Board of Turkey is the regulatory and supervisory authority in charge of the securities markets in Turkey. The CMB has been making detailed regulations for organizing the markets and developing capital market instruments and institutions for the past nineteen years in Turkey.

Associations

Represent our members to policymakers, regulators, the media and all key stakeholders across the UK, Europe and beyond, working together to promote a legislative and regulatory system that works for customers and promotes economic growth.

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